FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 1

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional sales representatives of their compliance obligations. Volume 1 covers social media and public communications, Form U4 disclosures, private securities transactions, handling firm funds, and maintaining ethical behavior when fulfilling continuing education requirements.

Learning Objectives

Students who successfully complete this course will be able to:

  • use social media and public communications appropriately
  • disclose all material information on your Form U4
  • follow proper steps before engaging in private securities transactions
  • handle your firm’s funds in proper manner
  • maintain ethical behavior

Designed for

Institutional

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